In Re Roth
In Re Roth
Opinion of the Court
The petitioner seeks his release under habeas corpus from two separate commitments for constructive contempt, issued on the same day after hearing of two consecutive contempt proceedings. The matter has been submitted on the petition, the return thereto, the traverse thereof and the reporter’s transcript of proceedings at the hearing.
From the record it appears that each proceeding was instituted on July 9, 1934, as ancillary to a civil action or proceeding in the Superior Court of Los Angeles County, in each of which petitioner appeared as attorney of record, by the filing of an unverified document in each case entitled,
Petitioner bases his right to release in each case on two general propositions: (1) that the initial affidavit does not state facts sufficient to constitute contempt, and (2) that the order of commitment was in excess of the jurisdiction of the court because the record does not disclose that any contempt was committed. The first proposition is subdivided into two parts: (a) that the initial affidavit is not sufficient to confer jurisdiction because the statement of facts therein is based wholly on information and belief, and (b) that the facts stated do not constitute contempt.
The law in this state on the subject of the sufficiency of an initiating affidavit filed under the' provisions of section 1211 of the Code of Civil Procedure, which sets out the facts constituting a constructive contempt on information
Contempt of court is a specific criminal offense, and is not a civil action either at law or in equity, but is a separate proceeding of a criminal nature and summary character, in which the court exercises but a limited jurisdiction. In a prosecution for constructive contempt the affidavits on which the citation is issued constitute the complaint, and the affidavits of the defendant constitute the answer or plea. A hearing must be had on the issues thus joined, at which competent evidence must be produced. The proceeding is of such a distinctly criminal nature that a mere preponderance of evidence is insufficient, the defendant cannot be compelled to be sworn as a witness and he cannot be convicted upon the uncorroborated testimony of an accomplice. (Hotaling v. Superior Court, 191 Cal. 501 [217 Pac. 73, 29 A. L. R. 127].) And the affidavit charging the commission of a contempt need be no more specific in its averments of the facts constituting the contempt than a complaint charging a crime. (Selowsky v. Superior Court, 180 Cal. 404 [181 Pac. 652].) Contempt is an offense which, generally speaking, may be classified as a misdemeanor under the definition given in section 17 of the Penal Code. Section 1209 of the Code of Civil Procedure defines the acts or omissions which constitute the thirteen kinds of contempt of the authority of a court of justice. Section 166 of the Penal Code declares every person who is guilty of any contempt of court of either of the eight kinds defined therein to be guilty of a misdemeanor. Upon comparison of the two sections we note many duplications of acts or omissions which are therein defined as contempts, these, therefore, being the subject of two distinct methods of procedure toward punishment. The thirteenth subdivision of section 1209, relating to the unlawful practice of law, is not found in section 166 of the Penal Code but is embraced in sections 47 and 49 of the State Bar Act, wherein such act is declared a misdemeanor. If the acts or omissions are charged as contempts under the summary process set up in the Code of Civil Procedure (secs. 1209-1222), an affidavit
In the matter of initiating a misdemeanor prosecution, it appears to be the accepted rule that the complaint described in section 1426 of the Penal - Code may be made and based on information and belief. (Ex parte Blake, 155 Cal. 586 [102 Pac. 269, 18 Ann. Cas. 815].) In arriving at a decision establishing this rule, the court in the cited case first distinguished the methods of procedure in instituting a prosecution of a felony charge, as set forth in sections 811-813 of the Penal Code and those for prosecuting misdemeanors under sections 1426 and 1427 of that code. In the one the magistrate may examine as many witnesses as he desires before issuing the warrant, while in the other he is limited to the complaint itself as a basis for his action in signing a warrant. But section 1427 makes it his duty to issue a warrant of arrest upon the filing of the complaint under oath if he “is satisfied therefrom that the offense complained of has been committed”. The court, on this distinction and this peculiar language of section 1427 of the Penal Code, held that a complaint verified on information and belief, charging a misdemeanor, was sufficient and conferred jurisdiction of the subject-matter.
The provisions of the Code of Civil Procedure presenting the method of prosecuting a charge of constructive contempt, which correspond with those of the Penal Code for prosecuting misdemeanors, are found in sections 1211 and 1212 thereof. Section 1211 provides that “an affidavit shall be presented to the court, or judge, of the facts constituting the contempt”, and section 1212 provides that “when the contempt is not committed in the immediate view and presence of the court or judge, a warrant of attachment may be issued to bring the person charged to answer, or, without a previous arrest, a warrant of commitment may, upon notice, or upon an order to show cause, be granted”. From this comparison we note that the peculiar language, “is satisfied therefrom”, etc., used in the provisions for
With the foregoing as a background we may now revert to the first point presented. The question of sufficiency of an affidavit based on information and belief to confer jurisdiction of a charge of constructive contempt appears to have first been considered by the appellate courts of this state in the case of Ex parte Acock, 84 Cal. 50 [23 Pac. 1029], wherein the petitioner contended in a proceeding on habeas corpus that the judgment of conviction for constructive contempt was void because “material allegations of the affidavits are made upon information and belief”. In deciding the point the court said: “Whatever the rule may be with respect to the rights of persons held for examination under an attachment which has been issued upon an. affidavit made on information and belief alone, we do not think that, after a full and fair hearing, in which the prisoner has been given a full opportunity to present his defense to the charge made against him, a judgment of conviction can be held to be void because some of the charges are made on information and belief. It would be impossible in many cases of contempt committed out of the presence of the court to secure the apprehension or conviction of the guilty parties, if every fact essential to sustain the judgment were required to be stated in positive terms.” (Italics ours.)
In Hughes v. Moncur, 28 Cal. App. 462 [152 Pac. 968], in a proceeding on certiorari, the petitioner claimed that the affidavit on which his conviction of contempt was founded was based upon information and belief and was insufficient to support the judgment. The court quoted the same language as above quoted from Ex parte Acock, supra, and said: “But we think that the charges against Mr. Hughes were not wholly made on information and belief, and such as were so made had some foundation to build upon. ... We think there were circumstances sufficient to
In the case of In re Kolb, 60 Cal. App. 198 [212 Pac. 645], in deciding and discharging a writ of habeas corpus in a contempt case, the court said: “It was assumed by
As the Brown case appears to be the latest expression of opinion on this question, and appears to give countenance to the use of affidavits based wholly on information and belief in the initiation of contempt proceedings, and as it seems to announce a rule which is so far in advance of that so studiously limited by the appellate courts in previous decisions, it becomes important. to analyze the decision to be certain how far it may be followed as authority. The affidavit therein charged the accused with occupying certain premises and refusing to vacate after injunction requiring him to vacate. The decision cites the Selowsky ease reported in 180 Cal., at page 404, and referring thereto makes this statement: “The affidavit under consideration in the Selowsky case was to a large extent based upon information and belief, and though the point was not expressly decided, these allegations luere treated as sufficient.” (Italics ours.) With the italicized portion of this statement we find ourselves in disagreement, as the affidavit, which is fully set forth in the decision referred to, contains but two allegations which were based on belief,, and the court therein expressly declared that the affidavit was sufficient without allegation of the facts attempted to be set forth on information and belief; and further, that any finding on that fact was unnecessary to the decision of the ultimate fact in issue and would have been out of place as being a recitation of purely evidentiary matter. The sufficiency of the affidavit in that case was sustained after conceding that there was no sufficient allegation of facts attempted to be alleged on information and belief. And exactly to the same effect, the District Court in the Third Appellate District had previously held, in the ease of Selowsky (38 Cal. App. 569), as herein above
As was said in the ease of Gay v. Torrance, supra, an affidavit made solely on information and belief is, ordinarily, unavailing for any purpose. Such affidavits, especially where no source óf information is therein stated, are hearsay in so far as they attempt to convey any proof of the facts therein stated, and may amount to no more than mere recitation of public rumor or common gossip. To give countenance to a rule by which a member of society may be taken into custody or forced to trial on the basis of such an affidavit might lead to flagrant abuse of opportunities thereby afforded. Should such an affidavit be held sufficient to confer jurisdiction in the most meritorious and authentic case, under the same rule it must likewise be held sufficient
While we recognize the tendency to classify constructive contempts prosecuted under the provisions of the Code of Civil Procedure along with misdemeanors prosecuted under the provisions of the Penal Code, we must at the same time recognize also that the former method of proceeding is summary in character and drastic in results, where guilt is adjudged; for therein no jury may be demanded and no appeal may be taken from the judgment entered, which, under the law, is final and conclusive (sec. 1222, Code Civ. Proc.), and may be reviewed only under the limited process of certiorari or habeas corpus; while in the latter proceeding the right to a jury trial exists, and appeal may be taken from the judgment.
For the reasons above stated, and in accordance with the intimated but unexpressed views of the courts in the cases above cited and quoted from, other than the Brown case, we are satisfied that an affidavit based wholly on information and belief, and without stating any authentic source' of such information is not an affidavit of the facts prescribed by section 1211 of the Code of Civil Procedure and is insufficient as a basis of jurisdiction to support a warrant,, or order to show cause or a judgment in a- proceeding in constructive contempt. In this conclusion we find direct support in decisions of other state courts, wherein it has been héld that an affidavit in contempt proceedings based on information and belief is not sufficient to confer jurisdiction. Such were the decisions in State v. Gallup, 1 Kan. App. 618 [42 Pac. 406], State v. Conn, 37 Or. 596 [62 Pac. 289], Freeman v. City of Huron, 8 S. D. 435 [66 N. W. 928], State v. Newton, 16 N. D. 151 [112 N. W. 52, 14 Ann. Cas. 1035], Belangee v. State, 97 Neb. 184 [149 N. W. 415], Swart v. Kimball, 43 Mich. 443 [5 N. W. 635], Early v.
The conclusion reached on this point renders it unnecessary to consider the other points presented.
The petitioner is discharged and his bail exonerated.
Concurring Opinion
I concur. In doing so it seems proper to mention that the subject-matter of this case involves some very important principles in the administration of justice. First, the right of the incorporated bar to combat the unethical practices of its own members and, secondly, the right of the court to protect its own reputation and preserve its powers. Of corresponding and even greater importance is the right of the individual to be free from legal proceedings founded only on hearsay upon wdiich summary action may be had. In the instant proceeding full and earnest objection was made by the accused (petitioner herein) in answering the court’s order to show cause. But the court overruled the objection and proceeded summarily to try the issue. No opportunity was accorded petitioner to test the court’s jurisdiction by any proper writ from an appellate court and no appeal lay from the trial court’s determination.
In these circumstances, I think the historic requirement that the substance of an alleged contempt must be positively averred should not be broken down by judicial decision. On the other hand, the facts show a scandalous manipulation of funds awarded by the court for the benefit of minors. Whether or not petitioner was involved in such manipulation, I do not intimate. It would seem, however, that the facts would admit of positive allegations should The State Bar be advised to take further action.
Crail, J., concurred.
A petition by respondent to have the cause heard in the Supreme Court, after judgment in the District Court of Appeal, was dismissed by the Supreme Court on January 17, 1935, on the ground of lack of jurisdiction.
Reference
- Full Case Name
- In the Matter of the Application of IRWIN H. ROTH for a Writ of Habeas Corpus
- Cited By
- 12 cases
- Status
- Published